Statutory Compliance Register required as per Co. Act 2013

Statutory Compliance Register required as per the Companies Act, 2013.

The Statutory Compliance Register required as per the Companies Act, 2013, consolidates various statutory registers required for the company to maintain for compliance. This combined approach simplifies record-keeping while ensuring that all mandated registers are up-to-date and readily available for inspection by stakeholders or authorities. Here’s an overview of the registers it includes:

Register of Share Application & Allotment

• Maintains records of applications received and shares allotted to applicants.
• Includes details such as application numbers, names of applicants, shares allotted, and date of allotment.

Register of Members (Section 88)

• Contains details of shareholders (equity and preference).
• Includes name, address, shareholding details, and any changes in ownership.
• Also includes entries for beneficial owners in case of dematerialized shares.  Maintained under Section 88 and Rule 3 of the Companies (Management and Administration) Rules, 2014. To be updated within seven days of share allotment/transfer.

Register of Share Transfer

• Documents transfer of shares between members or third parties.
• Records details such as transferor and transferee names, folio numbers, number of shares transferred, and the date of transfer.

Register of Directors and Key Managerial Personnel (KMP) and Their Shareholding (Section 170)

• Records particulars of directors and KMPs, such as name, address, DIN (Director Identification Number), and shareholding in the company.
• Updates whenever there are changes in appointments or shareholding.

Register of Charges (Section 85)

• Maintained under Section 85 and Rule 10 of the Companies (Registration of Charges) Rules, 2014. To include charges created, modified, or satisfied on the company’s assets.
• Captures details of charges created, modified, or satisfied on the company’s assets.
• Includes information like chargeholder’s name, description of assets, amount secured, and date of creation/modification/satisfaction.

Register of Contracts With Related Parties and Contracts and Bodies, Etc., in Which Directors Are Interested (Section 189)

• Records contracts and arrangements with related parties as defined under Section 2(76).
• Includes details like the nature of interest, terms of the contract, and parties involved.

Register of Investments Not Held in Its Own Name by the Company (Section 187)

• Tracks investments made by the company that are not in its name.
• Includes particulars such as description of the investment, names of trustees (if any), and reasons for not holding in the company’s name.

Register of Loan, Guarantee, Security, and Acquisition Made by the Company (Section 186)

• Records details of loans, guarantees, securities provided, and acquisitions made by the company.
• Includes the name of the recipient, amount, purpose, terms, and approval status by the Board/shareholders.

Other Statutory Compliance Register required as per the Companies Act, 2013

• Register of Other Security Holders

  • Maintained under Section 88 and Rule 4 of the Companies (Management and Administration) Rules, 2014.
  • Updated within seven days of transfer and 15 days for pledge/lien/hypothecation.

• Foreign Register

  • Optional, maintained as per Section 88 and Rule 7 of the Companies (Management and Administration) Rules, 2014.

• Register of Directors and Key Managerial Personnel (KMP)

  • Maintained under Section 170 and Rule 17 of the Companies (Appointment and Qualification of Directors) Rules, 2014.
  • Contains personal details, securities held, and transaction records.

• Register of Deposits

  • Maintained under Sections 73 and 76 and Rule 14 of the Companies (Acceptance of Deposits) Rules, 2014.

• Register of Loans, Guarantees, Securities, and Acquisitions

  • Maintained under Section 186(9) and Rule 12 of the Companies (Meetings of Board and its Powers) Rules, 2014.

• Register of Investments Not Held in the Company’s Name

  • Maintained under Section 187 and Rule 14 of the Companies (Meetings of Board and its Powers) Rules, 2014.

• Register of Contracts in Which Directors Are Interested

  • Maintained under Section 189 and Rule 16 of the Companies (Meetings of Board and its Powers) Rules, 2014.
  • Includes related party transactions and director interests.

• Register of Sweat Equity Shares

  • Maintained under Section 54 and Rule 8(14) of the Companies (Share Capital and Debentures) Rules, 2014.

• Register of Employee Stock Options (ESOP)

  • Maintained under Section 62(1)(b) and Rule 12(10) of the Companies (Share Capital and Debentures) Rules, 2014.

• Register of Securities Bought Back

  • Maintained under Section 68(9) and Rule 17(12) of the Companies (Share Capital and Debentures) Rules, 2014.

• Register of Renewed or Duplicate Share Certificates

  • Maintained under Section 46 and Rule 6(3) of the Companies (Share Capital and Debentures) Rules, 2014.

• Register of Significant Beneficial Owners (SBO)

  • Maintained under Section 90 and Rule 5 of the Companies (Significant Beneficial Owners) Rules, 2018.

• Register of Postal Ballots

  • Maintained under Section 110 and Rule 22(10) of the Companies (Management and Administration) Rules, 2014.